In January 2025, the SDT released a new set of procedures to streamline case progression and facilitate non-party disclosure. The new procedures are intended to allow parties involved more time to understand each other’s cases before an Answer/Reply is required and before a date for the substantive hearing is set and improve transparency through automatic disclosure. The changes were approved by the SDT’s policy board following stakeholders’ requests for changes to the practice directions and the Tribunal’s push to enhance their commitment to the principle of open justice.
What Is The SDT Hoping To Achieve With The New Case Progression Procedures?
The SDT have identified a set of primary and secondary objectives for the procedural changes, as follows:
- Primary objectives:
- To give parties more time to understand each other’s cases before requiring Answer/ Reply and before setting a substantive hearing date
- Minimise opportunities for distracting non-party applications for disclosure during the substantive hearing through the introduction of an Automatic Disclosure Policy (ADP)
- Reinforce their collective commitment to open justice
- Secondary Objectives:
- Reduce the parties’ costs
- Reduce the number of ‘lost’ hearing days for the Tribunal
- Reduce the cost per court
What Are The Case Progression Procedural Changes?
Revised SDs
The SDT’s practice directions (also referred to as Standard Directions or SDs) have now been split into part 1 and part 2.
The part 1 SDs apply to the service of an Answer by the Respondent and the serving of a Reply; part 2 applies after this stage.
Under the new procedures, a remote Case Management Hearing (CMH) will be listed for every case around 3 to 4 months after proceedings are issued, instead of listing the final hearing immediately. At or before the CMH:
- If no CMH is needed, Part 2 SDs will be issued with procedural steps and the hearing date.
- If CMH goes ahead, Part 2 SDs will be set during the hearing.
In addition, under the new changes, the time to file an Answer has been increased to 8 weeks (was 4), and the time to Reply has been increased to 10 weeks. Furthermore, a ‘certificate of readiness’ is no longer required, but some preparatory information must still be provided as set out in the Part 2 SDs.
Practice Direction 2 (PC2) and revised application procedure to vary SDs
The new Practice Direction 2 allows administrative approval of variations to the SDs where:
- All parties agree
- CMH and final hearing dates are not affected
- A prescribed form and draft amended directions have been submitted.
Automatic Disclosure Policy (ADP)
A new Automatic Disclosure Policy (ADP) means that certain key documents will be shared automatically with the press and public at the start of the final hearing, including:
- A Rule 12 Statement (without anonymity schedule and exhibits) – the Rule 12 Statement sets out the case, including allegations, evidence, etc., made by the Applicant
- Answer (excluding exhibits)
- Reply, and
- Skeleton arguments.
As the new guidance explains: “The Rule 12 Statement is a document produced by the Applicant (usually the SRA). It is created in a format where clients are usually referred to by cypher, as are complainants and victims. Other matters which would render “jigsaw identification” possible are also redacted. On this basis, it is already a substantially redacted document at the point when proceedings are issued”.
The new ADP procedure means that no application for this disclosure is required by the public or the press. According to the details provided by the SDT, documents subject to ADP will be disclosed automatically on the first day of the substantive hearing. This has been done because the SDT believes that the current NPD procedure is ‘cumbersome’ and can disrupt the ‘flow of a substantive hearing at a time when the Tribunal and parties’ total focus should be on the case’. In their view, the current process causes parties and non-parties to feel frustrated by disruption and delay. The new ADP process streamlines the process and removes these issues, giving the public confidence that the information needed is available without application at the start of the hearing. In addition, the Tribunal nor the parties need to give the matter any further thought unless there is an application to prevent ADP.
ADP documents will be published on the Tribunal’s website during the hearing and for a short time afterwards.
Final Words
The new procedures came into effect on 15th January 2025 and will apply to all new cases received by the SDT. In principle, anything that streamlines the SDTs processes, gives more time, reduces costs, and removes the need for unnecessary administration should be welcomed.
We have been helping solicitors and other legal professionals with disciplinary and regulatory advice for nearly 30 years. If you have any questions relating to an SRA investigation or an SDT appearance, please call us on 0151 909 2380 or complete our Free Online Enquiry.